The Customer Relationship Model Rules that were recently introduced by IIROC require professionals to understand the increased number of situations in which suitability reviews must be conducted. The Enhanced Suitability for IIROC Advisors course provides professionals with the opportunity to learn practical methods to operate under these new rules, which in turn will help ensure a fair client experience.
The course fulfills 3 IIROC CE Compliance Credit hours.
Understanding and applying the Enhanced Suitability guidelines has become an essential skill for investment advisors and compliance officers. A financial professional who knows when to review and reassess client information will reduce the likelihood of client complaints related to suitability. This will also improve their clients’ knowledge of what is appropriate for their portfolio while increasing the bottom line and reputation of the member firm.
The Enhanced Suitability for IIROC Advisors course is designed for investment advisors, assistants, compliance officers, branch managers, branch assistants, and auditors who work at IIROC dealer member firms.